Director of Regulatory Compliance, Guideline
Advertising and Communications
$145-206.3k
Retirement plans for small business
Job no longer available
Retirement plans for small business
201-500 employees
Job no longer available
$145-206.3k
201-500 employees
Company mission
To help everyone arrive at a secure retirement.
Role
Who you are
- Bachelor's degree
- Minimum of 10 years of relevant experience with demonstrated subject matter expertise concerning compliance advertising review in a financial services company
- FINRA Series 24
- Demonstrated knowledge and understanding of SEC, FINRA and FTC regulations
- Flexibility and readiness to take on multiple roles, responsibilities, and projects
- Experience in time management and prioritization
- Experience consulting and collaborating as a partner
- Experience communicating and distilling complex subject matters into terms understood by team members of all levels of expertise
- Experience planning and taking tasks to completion within specified time frames
- Experience completing tasks on your own, as part of a team, and in collaboration
- Experience working at a startup in the tech or FinTech space
- A collaborative, positive, strategic, and practical individual
What the job involves
- Guideline is looking for a Director of Regulatory Compliance, Advertising and Communications, to join the Legal & Compliance team
- You will report to the Chief Compliance Officer
- We are looking for someone to serve as a Director of Regulatory Compliance, Advertising and Communications
- You will guide the relationship between the Compliance and Marketing teams, review advertising materials and external collateral, and consult with partners on projects in a startup environment
- Apply knowledge of regulatory compliance requirements, including but not limited to SEC, FINRA, and FTC to investment advisory, broker-dealer, banking services, and more
- Develop, implement, and manage our advertising and communications regulatory compliance programs across the organization, including internal audits and investigations to identify potential compliance violations
- Monitor and ensure compliance with all relevant securities laws, financial regulations, and industry standards as it relates to our advertising and external collateral materials
- Analyze and interpret complex regulatory requirements and communicate complex information effectively
- Review and approve company advertising, social media, and other forms of advertising content as well are various external collaboration in collaboration with cross-functional teams to ensure compliance requirements are met
- Assist the Legal & Compliance team in providing guidance and training to staff across the organization
- Supervise the Advertising and Communications team with the Legal and Compliance department
- Identify issues that require ERISA subject matter expertise and collaborate with such experts
- Help draft compliance reports and corrective action/remediation plans by providing testing data, observations, and identification of findings, delivering results to the Chief Compliance Officer
- Streamline the review and approval processes throughout the organization and cross functional stakeholders
Our take
When businesses offer a 401(K) plan, a message is sent to employees and potential employees that their future is valued by their employer. However, small businesses are often left behind, being charged extortionate fees or ignored by 401(K) providers altogether, leaving many American families with no retirement savings and the potential of retiring into poverty.
Guideline spotted this oversight as an opportunity to jump in and offer small businesses an affordable 401(K). It generates income by charging each business a flat monthly fee per participant.
The company now manages retirement plans for hundreds of thousands of people in over 40,000 companies and has accumulated over $8 billion in assets under management. Benefits providers Intuit, Gusto, and Square all use Guideline as their 401(K) partner.
Freddie
Company Specialist
Insights
Company
Employee endorsements
Nice people
"The people at Guideline are really nice, friendly, and helpful. We get to know other members a little better outside of work, and there is an effort..."
Funding (last 2 of 6 rounds)
Jun 2021
$200m
SERIES E
Jul 2020
$80m
SERIES D
Total funding: $339m
Company benefits
- Comprehensive medical, dental and vision plans—100% for employees, 70% for dependents
- Generous 401(k) match
- Paid time off + unlimited vacation days
- Paid parental leave
- Mental health coaching and therapy
- Learning and development stipend
- Cash referral bonus
- Commuter benefits
Company HQ
South San Mateo, San Mateo, CA
Articles
Leadership
Kevin Busque
(CEO)Majored in Computer Information Science at Fitchburg State University. Started out as an Advisory Unix Systems Administrator at IBM and then founded LinkedUp.net, an Open Source consulting company, in 1996. Acted as Chief Information Security Officer at the Institute for Health Metrics and was Director of IT at Humedica. Co-founded TaskRabbit in 2008, acting as its VP of Technology until 2015.
Mike Nelson
(CTO)Majored in Mechanical Engineering at the University of Southern Maine. Was Mobile Developer and CTO at TechStars-backed Accelgolf from 2007 to 2010. Joined SkillSlate as Rails Engineer and CTO, before being hired by TaskRabbit as Staff Engineer in 2012.
Jeremy Caballero
(CPO)Started out as a Junior Programmer at Mail Boxes Etc. Worked as a Photographer and Videographer from 2007 to 2011, and then as a Freelance Digital Designer. Was Lead Designer at lifestyle adventure brand Targa Trophy before joining TargetSafety's UX team. Was made Lead Product Designer at TaskRabbit in 2012.
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